Understanding The Federal Courts
Administrative Office of the U.S. Courts
This publication was developed by the Administrative Ofce of the United
States Courts to provide an introduction to the federal judicial system, its
organization and administration, and its relationship to the legislative and
executive branches of the government. The Administrative Ofce, the judicial
branch’s central support agency, provides a broad range of management,
legal, technical, communications, and other support services for the
administration of the federal courts.
Contents
The Constitution and the Federal Judiciary .............................................................................................................................. 1
The Federal Courts In American Government
......................................................................................................................... 2
The Federal Courts and Congress
................................................................................................................................... 2
The Federal Courts and the Executive Branch
........................................................................................................... 2
The Federal Courts and the Public
.................................................................................................................................. 3
Structure of the Federal Courts
..................................................................................................................................................... 4
Trial Courts
................................................................................................................................................................................ 4
Appellate Courts
..................................................................................................................................................................... 4
United States Supreme Court
........................................................................................................................................... 4
The Jurisdiction of the Federal Courts
........................................................................................................................................ 6
United States Judges
......................................................................................................................................................................... 8
Appointment and Compensation
.................................................................................................................................... 8
Judicial Ethics
........................................................................................................................................................................... 9
Senior and Recalled Judges
............................................................................................................................................... 9
The Federal Judicial Process In Brief
.......................................................................................................................................... 10
An Adversarial System
.......................................................................................................................................................10
Fees and the Costs of Litigation
.....................................................................................................................................10
Procedural Rules for Conducting Litigation
.............................................................................................................. 10
Civil Cases
................................................................................................................................................................................ 11
Criminal Cases
.......................................................................................................................................................................12
Jury Services
........................................................................................................................................................................... 15
Jury Selection Procedures
................................................................................................................................................16
Bankruptcy Cases
.................................................................................................................................................................17
The Appeals Process
...........................................................................................................................................................19
Federal Judicial Administration
...................................................................................................................................................21
Individual Courts
..................................................................................................................................................................21
The Circuit Judicial Councils.............................................................................................................................................21
The Judicial Conference of the United States and National Administration
..............................................................23
The Judicial Conference of the United States
...........................................................................................................23
The Administrative Ofce of the United States Courts
........................................................................................23
The Federal Judicial Center (FJC)
...................................................................................................................................23
Judicial Panel for Multidistrict Litigation
....................................................................................................................24
United States Sentencing Commission
.......................................................................................................................24
The Judiciary’s Budget
....................................................................................................................................................................25
Commonly Asked Questions About the Federal Judicial Process
.................................................................................. 26
Common Legal Terms
......................................................................................................................................................................29
About the Administrative Ofce of the United States Courts
.........................................................................................44
UNDERSTANDING THE FEDERAL COURTS ...........................................................................................................1
Article III of the United States
Constitution establishes the judicial
branch as one of the three separate and
distinct branches of the federal govern-
ment. The other two are the legislative
and executive branches.
The federal courts often are called
the guardians of the Constitution
because their rulings protect rights and
liberties guaranteed by the Constitution.
Through fair and impartial judgments,
the federal courts interpret and apply
the law to resolve disputes. The courts
do not enact the laws; that is the respon-
sibility of Congress. Nor do the courts
have the power to enforce the laws;
that is the role of the President and the
many executive branch departments and
agencies.
The founders of the nation consid-
ered an independent federal judiciary essential to ensure fairness and equal justice for
all citizens of the United States. The Constitution they drafted promotes judicial indepen-
dence in two major ways. First, Article III federal judges are appointed for life, and they
can be removed from ofce only through impeachment and conviction by Congress of
“Treason, Bribery, or other high
Crimes and Misdemeanors.” Second,
the Constitution provides that the
compensation of Article III federal
judges “shall not be diminished during
their Continuance in Ofce,” which
means that neither the President nor
Congress can reduce the salary of
a federal judge. These two protec-
tions help an independent judiciary
to decide cases free from popular
passion and political inuence.
■
The Constitution
and the Federal Judiciary
U.S. CONSTITUTION
ARTICLE III
The judicial power of the United States
shall be vested in one supreme Court, and
in such inferior Courts as the Congress may
from time to time ordain and establish. The
Judges, both of the supreme and inferi-
or Courts, shall hold their Ofces during
good Behaviour, and shall, at stated Times,
receive for their Services, a Compensation,
which shall not be diminished during their
Continuance in Ofce.
2 ......................................................................................................The Administrative Ofce of the U.S. Courts
The Federal Courts
and the Executive Branch
Under the Constitution, the President
appoints federal judges with the “advice
and consent” of the Senate. The President
usually consults senators or other elected
ofcials concerning candidates for vacan-
cies on the federal courts.
The President’s power to appoint new
federal judges is not the judiciary’s only
interaction with the executive branch. The
Department of Justice, which is respon-
sible for prosecuting federal crimes and
for representing the government in civil
cases, is the most frequent litigator in the
federal court system. Several executive
branch agencies assist the judiciary with
its administrative operations. The United
States Marshals Service, for example,
provides security for federal courthouses
and judges, and the General Services
the Federal Courts
In American Government
2 ......................................................................................................The Administrative Ofce of the U.S. Courts
The three branches of the
federal government—legislative,
executive, and judicial—operate
within a constitutional system of
“checks and balances.” This means
that although each branch is
formally separate from the other
two, the Constitution often requires
cooperation among the branches.
Federal laws, for example, are
passed by Congress and signed by
the President. The judicial branch, in
turn, has the authority to decide the
constitutionality of federal laws and
resolve other disputes over federal
laws, but judges depend upon the
executive branch to enforce court
decisions.
The Federal Courts
and Congress
The Constitution gives Congress the
power to create federal courts other than
the Supreme Court and to determine their
jurisdiction. It is Congress, not the judiciary,
that controls the type of cases that may be
addressed in the federal courts.
Congress has three other basic respon-
sibilities that determine how the courts
will operate. First, it decides how many
judges there should be and where they will
work. Second, through the conrmation
process, Congress determines which of
the President’s judicial nominees ultimately
become federal judges. Third, Congress
approves the federal courts’ budget and
appropriates money for the judiciary to
operate. The judiciary’s budget is a very
small part—two tenths of one percent—of
the entire federal budget.
UNDERSTANDING THE FEDERAL COURTS ...........................................................................................................3
Court dockets and case les also are
available on the Internet through the Public
Access to Court Electronic Records system
(known as “PACER”), at www.pacer.uscourts.
gov. In addition, every federal court maintains
a website with information about court
rules and procedures. A list of these local
court websites is available on the judiciary’s
ofcial website at www.uscourts.gov.
The right of public access to court
proceedings is partly derived from the
Constitution and partly from court tradi-
tion. By conducting their judicial work in
public view, judges enhance public con-
dence in the courts and allow citizens to
learn rst-hand how our judicial system
works.
Although there is a very strong
presumption that all court records and
proceedings are open to the public, public
access may be limited in some situations. In
a high-prole trial, for example, there may
not be enough space in the courtroom to
accommodate everyone who would like
to observe. Access to the courtroom also
may be restricted for security or privacy
reasons, such as the protection of a juvenile
or a condential informant. Finally, certain
documents may be placed under seal
by the judge, meaning that they are not
available to the public. Examples of sealed
information include condential business
records, certain law enforcement reports,
and juvenile records.
■
Administration builds and maintains
federal courthouses.
Specialized subject-matter courts and
boards, and numerous federal administra-
tive agencies adjudicate disputes involving
specic federal laws and benets programs.
These non-judiciary courts and tribunals
include the United States Tax Court, the
United States Court of Appeals for the
Armed Forces, and the United States Court
of Appeals for Veterans Claims.
While these courts, also known as
Article I courts, are not part of the judicial
branch, Congress created them to maintain
a certain degree of independence and to
operate impartially and without political
inuence. The decisions of these agencies
and courts are in some cases appealable to
the Article III courts.
The Federal Courts and the Public
With certain very limited exceptions,
each step of the federal judicial process is
open to the public. Many federal court-
houses are historic buildings, and all are
designed to inspire in the public a respect
for the tradition and purpose of the
American judicial process.
An individual citizen who wishes to
observe a court in session may go to the
federal courthouse, check the court calen-
dar, and watch a proceeding. Anyone may
review the pleadings and other documents
in a case by going to the clerk of court’s
ofce and viewing the appropriate case le
using an electronic access terminal. Unlike
most state courts, however, the federal
courts are just beginning to permit limited
live television or radio coverage of some
civil trials.
4 ......................................................................................................The Administrative Ofce of the U.S. Courts
The Supreme Court is the highest court in the United States. Article III of the U.S.
Constitution created the Supreme Court and authorized Congress to pass laws establishing
a system of lower courts. In the federal court system’s present form, 94 district-level trial
courts and 13 courts of appeals sit below the Supreme Court.
Structure of the Federal Courts
Appellate Courts
The 94 judicial districts are organized into
12 regional circuits, each of which has a
United States court of appeals. A court of
appeals hears challenges to district court
decisions from courts located within its
circuit, as well as appeals from decisions of
federal administrative agencies. In addition,
the Court of Appeals for the Federal Circuit
has nationwide jurisdiction to hear appeals
in specialized cases, such as those involving
patent laws and cases decided by the Court
of International Trade and the Court of
Federal Claims.
United States Supreme Court
The U.S. Supreme Court consists of the
Chief Justice of the United States and
eight associate justices. At its discretion,
and within certain guidelines established
by Congress, the Supreme Court hears a
small percentage of the cases it is asked to
decide each year. Supreme Court cases are
usually selected either because the lower
courts have differed, or “split,” on a legal
issue or they involve important questions
about the Constitution or federal law.
■
Trial Courts
The U.S. district courts are the primary
trial courts of the federal court system.
Within limits set by Congress and the
Constitution, the district courts have
jurisdiction to hear nearly all categories of
federal cases, including both civil and crimi-
nal matters. There are 94 federal judicial
districts, including at least one district in
each state, the District of Columbia, and
Puerto Rico. Each district includes a U.S.
bankruptcy court as a unit of the district
court.
There are two special trial courts that
have nationwide jurisdiction over certain
types of cases. The Court of International
Trade addresses cases involving interna-
tional trade and customs issues. The United
States Court of Federal Claims has jurisdic-
tion over most claims for money damages
against the United States, disputes over
federal contracts, unlawful “takings” of
private property by the federal govern-
ment, vaccine injury cases, and a variety of
other claims against the United States.
Three territories of the United States—
the Virgin Islands, Guam, and the Northern
Mariana Islands—have U.S. district
courts that hear federal cases, including
bankruptcy cases.
UNDERSTANDING THE FEDERAL COURTS ...........................................................................................................5
THE UNITED STATES
FEDERAL COURTS
6 ......................................................................................................The Administrative Ofce of the U.S. Courts
the Jurisdiction of the Federal Courts
Before a federal court
can hear a case, or “exercise
its jurisdiction,” certain
conditions must be met.
First, under the
Constitution, federal courts
exercise only “judicial”
powers. This means that
federal judges may inter-
pret the law only through
the resolution of actual
legal disputes, referred to in
Article III of the Constitution
as “Cases or Controversies.”
A court cannot attempt to
correct a problem on its
own initiative, or to answer a hypothetical
legal question.
Second, in an actual case or controversy,
the plaintiff in a federal lawsuit also must
have legal “standing” to ask the court for a
decision. That means the plaintiff must have
been aggrieved, or legally harmed in some
way, by the defendant.
Third, the case must present a category
of dispute that the law in question was
designed to address, and it must be a
complaint that the court has the power to
remedy. In other words, the court must
be authorized, under the Constitution or
a federal law, to hear the case and grant
appropriate relief to the plaintiff.
Finally, the case cannot be “moot,” that
is, it must present an ongoing problem for
the court to resolve. The federal courts,
thus, are courts of “limited” jurisdiction
because they may only decide certain
types of cases as provided by Congress or
as identied in the Constitution.
Although the details of the complex
web of federal jurisdiction that Congress
has given the federal courts is beyond the
scope of this brief guide, it is important
to understand that there are two main
sources of the cases coming before the
federal courts: “federal question” jurisdic-
tion and “diversity” jurisdiction.
In general, federal question jurisdiction
arises in cases that involve the U.S. govern-
ment, the U.S. Constitution or federal laws,
or controversies between states or between
the United States and foreign governments.
A case that raises such a “federal question”
may be led in federal court. Examples
of such cases might include a claim by an
individual for entitlement to money under a
federal government program such as Social
Security, a criminal prosecution by the
government that alleges someone violated
a federal law, or a challenge to actions
taken by a federal agency.
A case also may be led in federal
court based on the “diversity of citizenship”
UNDERSTANDING THE FEDERAL COURTS ...........................................................................................................7
of the litigants, such as between citizens
of different states, or between U.S. citizens
and those of another country. To ensure
fairness to the out-of-state litigant, the
Constitution provides that such cases may
be heard in a federal court. An important
limit to diversity jurisdiction is that only
cases involving more than $75,000 in
potential damages may be led in a federal
court. Claims below that amount may
only be pursued in state court. Moreover,
any diversity jurisdiction case regardless
of the amount of money involved may
be brought in a state court rather than a
federal court.
Federal courts also have jurisdiction
over all bankruptcy matters, which Congress
has determined should be addressed in
federal courts rather than the state courts.
Through the bankruptcy process, individuals
or businesses that can no longer pay their
creditors may either seek a court-super-
vised liquidation of their assets, or they may
reorganize their nancial affairs and work
out a plan to pay their debts.
Although federal courts are located in
every state, they are not the only forum
available to potential litigants. In fact, the
great majority of legal disputes in American
courts, civil or criminal, are addressed in
the separate state court systems. State
courts have jurisdiction over virtually
all divorce and child custody matters,
probate and inheritance issues, real estate
questions, and juvenile matters, and they
handle most criminal cases, contract
disputes, trafc violations, and personal
injury cases. In addition, certain catego-
ries of legal disputes may be resolved in
special courts or entities that are part of the
federal executive or legislative branches or
state and federal administrative agencies.
■
Geographic Boundaries
of United States Courts of Appeals and United States District Courts
8 ......................................................................................................The Administrative Ofce of the U.S. Courts
United States Judges
The work of the federal courts
touches upon many of the most
signicant issues affecting the
American people, and federal
judges exercise wide authority and
discretion in the cases over which
they preside. This section discusses
how federal judges are chosen,
and provides basic information
on judicial compensation, ethics,
and the role of senior and recalled
judges.
Appointment
and Compensation
Justices of the Supreme
Court, judges of the courts of
appeals and the district courts,
and judges of the Court of International
Trade are appointed under Article III of the
Constitution by the President of the United
States with the advice and consent of the
Senate. Article III judges are appointed for
life, and they can only be removed from
ofce through the impeachment process.
Although there are no special qualica-
tions to become a judge of these courts,
those who are nominated are typically
very accomplished private or government
attorneys, judges in state courts, magis-
trate judges or bankruptcy judges, or law
professors. The judiciary plays no role in
the nomination or conrmation process.
Bankruptcy and magistrate judges
are judicial ofcers of district courts. The
President and Senate have no role in their
selection. Congress determines the number
and location of bankruptcy judges; they are
appointed by the courts of appeals. The
district court determines the number and
location of magistrate judges and appoints
them. Judges of the Court of Federal
Claims are appointed by the President with
the advice and consent of the Senate.
Each court in the federal system has
a chief judge who, in addition to hearing
cases, has administrative responsibilities
relating to the operation of the court. The
chief judge is normally the judge who has
served on the court the longest. Chief
district and court of appeals judges must
be under age 65 to be designated as chief
judge. They may serve for a maximum of
seven years and may not serve as chief
judge beyond the age of 70.
All federal judges receive salaries and
benets that are set by Congress.
UNDERSTANDING THE FEDERAL COURTS ...........................................................................................................9
Judicial Ethics
Federal judges abide by the Code
of Conduct for United States Judges, a
set of ethical principles and guidelines
adopted by the Judicial Conference of
the United States. The Code of Conduct
provides guidance for judges on issues of
judicial integrity and independence, judicial
diligence and impartiality, permissible
extra-judicial activities, and the avoidance
of impropriety or even its appearance.
Judges may not hear cases in which
they have personal knowledge of the
disputed facts, a personal bias concerning
a party to the case, earlier involvement in
the case as a lawyer, or a nancial interest
in any party or subject matter of the case.
Many federal judges devote time to
public service and educational activi-
ties. They have a distinguished history of
service to the legal profession through
their writing, speaking, and teaching. This
important role is recognized in the Code
of Conduct, which encourages judges to
engage in activities to improve the law,
the legal system, and the administration of
justice.
Senior and Recalled Judges
Court of appeals, district court, and
Court of International Trade judges have
life tenure, and they may retire if they are at
least 65 years old and meet certain years of
service requirements. Most Article III judges
who are eligible to retire decide to continue
to hear cases on a full-time or part-time
basis as “senior judges.” Retired bankruptcy,
magistrate, and Court of Federal Claims
judges also may be “recalled” to active
service. Without the efforts of senior and
recalled judges, the judiciary would need
many more judges to handle its cases.
■
CODE OF CONDUCT
FOR UNITED STATES JUDGES
A judge should uphold the integrity and
independence of the judiciary.
A judge should avoid impropriety and
the appearance of impropriety in all
activities.
A judge should perform the duties of the
ofce fairly, impartially, and diligently.
A judge may engage in extrajudicial
activities that are consistent with the
obligations of judicial ofce.
A judge should refrain from political
activity.
Senior judges typically
handle about 15 to 20
percent of the appellate
and district court
workloads.
10 ....................................................................................................The Administrative Ofce of the U.S. Courts
This section describes three key features of the federal judicial system and gives an
overview of the process in criminal cases, civil cases, and bankruptcy proceedings. Also
included are brief descriptions of jury service and selection procedures and the appeals
process.
Fees and the Costs of Litigation
Another characteristic of the American
judicial system is that litigants typically
pay their own court and attorneys’ fees
whether they win or lose. Most court fees
are set by Congress. Other costs of litiga-
tion, such as attorneys and experts fees,
are more substantial. In criminal cases, the
government pays the costs of investigation
and prosecution. The court also provides a
lawyer without cost for any criminal defen-
dant who is unable to afford one. In civil
cases, plaintiffs who cannot afford to pay
court fees may seek permission from the
court to proceed without paying those fees.
Procedural Rules for Conducting
Litigation
There are federal rules of evidence and
procedural rules governing civil, criminal,
bankruptcy, and appellate cases that must
be followed in the federal courts. The
rules are designed to promote simplicity,
fairness, the just determination of litigation,
and the elimination of unjustiable expense
and delay. Committees of judges, lawyers,
and professors appointed by the Chief
Justice draft the rules. The Administrative
Ofce publishes the rules for public
comment. Rules are approved by the
Judicial Conference of the United States,
and promulgated by the Supreme Court.
The rules become law unless the Congress
votes to reject or modify them.
The Federal Judicial Process in Brief
An Adversarial System
The litigation process in U.S. courts
is referred to as an “adversarial” system
because it relies on the litigants to present
their dispute before a neutral fact-nder.
According to American legal tradition,
inherited from the English common law,
the clash of adversaries before the court
is most likely to allow the jury or judge
to determine the truth and resolve the
dispute at hand. In some other legal
systems, judges or other court ofcials
investigate and assist the parties to nd
relevant evidence or obtain testimony from
witnesses. In the United States, the work
of collecting evidence and preparing to
present it to the court is accomplished by
the litigants and their attorneys, normally
without assistance from the court.
To avoid the
expense and delay
of having a trial,
judges encourage
the litigants to try to
reach an agreement
resolving their
dispute...
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 11
Civil Cases
A federal civil case
involves a legal dispute
between two or more
parties. To begin a civil
lawsuit in federal court,
the plaintiff les a complaint
with the court and “serves”
a copy of the complaint
on the defendant. The
complaint describes the
plaintiff’s damages or injury,
explains how the defendant
caused the harm, shows
that the court has jurisdiction, and asks the
court to order relief. A plaintiff may seek
money to compensate for the damages, or
may ask the court to order the defendant to
stop the conduct that is causing the harm.
The court may also order other types of
relief, such as a declaration of the legal
rights of the plaintiff in a particular situation.
To prepare a case for trial, the litigants
may conduct “discovery.” In discovery, the
litigants must provide information to each
other about the case, such as the identity
of witnesses and copies of any documents
related to the case. The purpose of discov-
ery is to prepare for trial by requiring the
litigants to assemble their evidence and
prepare to call witnesses. Each side also may
le requests, or “motions,” with the court
seeking rulings on the discovery of evidence,
or on the procedures to be followed at trial.
One common method of discovery is
the deposition. In a deposition a witness
is required to answer questions about the
case before the trial. Lawyers “depose” the
witness by asking questions that the witness
answers, under oath, in the presence of
a court reporter. The court reporter is
a person specially trained to record all
testimony and produce a word-for-word
account called a transcript.
To avoid the expense and delay
of having a trial, judges encourage the
litigants to try to reach an agreement
resolving their dispute. In particular, the
courts encourage the use of mediation,
arbitration, and other forms of alternative
dispute resolution, or “ADR,” designed to
produce an early resolution of a dispute
without the need for trial or other court
proceedings. As a result, litigants often
decide to resolve a civil lawsuit with an
agreement known as a “settlement.”
If a case is not settled, the court will
schedule a trial. In a wide variety of civil
cases, either side is entitled under the
Constitution to request a jury trial. If the
parties waive their right to a jury, then the
case will be heard by a judge without a jury.
At a trial, witnesses testify under the
supervision of a judge. By applying rules
12 ....................................................................................................The Administrative Ofce of the U.S. Courts
of evidence, the judge determines which
information may be presented in the
courtroom. To ensure that witnesses speak
from their own knowledge and do not
change their story based on what they hear
another witness say, witnesses are kept out
of the courtroom until it is time for them
to testify. A court reporter keeps a record
of the trial proceedings. A deputy clerk of
court also keeps a record of each person
who testies and marks for the record any
documents, photographs, or other items
introduced into evidence.
As the questioning of a witness
proceeds, the opposing attorney may
object to a question if it invites the witness
to say something that is not based on the
witness’s personal knowledge, is unfairly
prejudicial, or is irrelevant to the case.
The judge rules on the objection, gener-
ally by ruling that it is either sustained or
overruled. If the objection is sustained,
the witness does not answer the question,
and the attorney must move on to his next
question. The court reporter records the
objections so that a court of appeals can
review the arguments later if necessary.
At the conclusion of the evidence, each
side gives a closing argument. In a jury
trial, the judge will explain the law that is
relevant to the case and the decisions the
jury needs to make. The jury generally is
asked to determine whether the defen-
dant is responsible for harming the plaintiff
in some way, and then to determine the
amount of damages that the defendant will
be required to pay. If the case is being tried
before a judge without a jury, known as a
“bench” trial, the judge will decide these
issues or order some kind of relief to the
prevailing party. In a civil case the plaintiff
must convince the jury by a “prepon-
derance of the evidence” (i.e., that it is
more likely than not) that the defendant is
responsible for the harm the plaintiff has
suffered.
Criminal Cases
The judicial process in a criminal case
differs from a civil case in several important
ways. At the beginning of a federal criminal
case, the principal actors are the U.S. attor-
ney (the prosecutor) and the grand jury.
The U.S. attorney represents the United
States in most court proceedings, includ-
ing all criminal prosecutions. The grand
jury reviews evidence presented by the
U.S. attorney and decides whether there is
sufcient evidence to require a defendant
to stand trial.
The standard of proof
in a criminal trial is proof
“beyond a reaonable
doubt,” which means the
evidence must be so strong
that there is no reasonable
doubt that the defendant
committed the crime.
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 13
After a person is arrested, a pretrial
services or probation ofcer of the court
immediately interviews the defendant
and conducts an investigation of the
defendant’s background. The information
obtained by the pretrial services or proba-
tion ofce will be used to help a judge
decide whether to release the defendant
into the community before trial, and
whether to impose conditions of release.
A person accused of a crime is entitled
to release before trial, unless the judge
determines that the person is likely to be
a danger to some other person or the
community, is likely to engage in further
criminal activity if released, or is not likely to
appear for trial.
At an initial appearance, a judge
advises the defendant of the charges led,
considers whether the defendant should
be held in jail until trial, and determines
whether there is probable cause to believe
that an offense has been committed
and that the defendant has committed
it. Defendants who are unable to afford
counsel are advised of their right to a
court-appointed attorney. The court may
appoint either a federal defender or a
private attorney who has agreed to accept
such appointments from the court. In either
type of appointment, the attorney will be
paid by the court from funds appropriated
by Congress.
Defendants released into the commu-
nity before trial may be subject to certain
restrictions, such as electronic monitoring
or drug testing, and required to make
periodic reports to a pretrial services ofcer
to ensure appearance at trial.
The defendant enters a plea to the
charges brought by the U.S. attorney at a
court hearing known as an arraignment.
Most defendants—more than 90%—plead
guilty rather than go to trial. If a defendant
pleads guilty in return for the government
agreeing to drop certain charges or to
recommend a lenient sentence, the agree-
ment often is called a “plea bargain.” If the
defendant pleads guilty, the judge may
impose a sentence at that time, but more
commonly will schedule a hearing to deter-
mine the sentence at a later date. In most
felony cases the judge waits for the results
of a presentence report, prepared by the
court’s probation ofce, before imposing a
sentence. If the defendant pleads not guilty,
the judge will proceed to schedule a trial.
14 ....................................................................................................The Administrative Ofce of the U.S. Courts
Criminal cases include
limited pretrial discovery
proceedings, similar to those
in civil cases, but with restric-
tions to protect the identity
of government informants
and to prevent intimidation
of witnesses. The attorneys
also may le motions, which
are requests for rulings by
the court before the trial.
For example, defense attor-
neys often le a motion to
suppress evidence, which
asks the court to exclude from the trial
evidence that the defendant believes was
obtained by the government in violation of
the defendant’s constitutional rights.
In a criminal trial, the burden of proof
is on the government. Defendants do not
have to prove their innocence. Instead,
the government must provide evidence to
convince the jury of the defendant’s guilt.
The standard of proof in a criminal trial gives
the prosecutor a much greater burden than
the plaintiff in a civil trial. The defendant
must be found guilty “beyond a reasonable
doubt,” which means the evidence must be
so strong that there is no reasonable doubt
that the defendant committed the crime.
If a defendant is found not guilty, the
defendant is released and the government
may not appeal. The person may not be
charged again for the same offense in a
federal court. The Constitution prohibits
“double jeopardy,” or being tried twice for
the same offense.
If the verdict is guilty, the judge deter-
mines the defendant’s sentence. The United
States Sentencing Commission issues federal
sentencing guidelines which are advisory,
but judges must still consider them when
determining a defendant’s sentence. The
court’s probation ofce prepares a report
for the court that considers the individual
defendant and the crimes for which he or
she has been found guilty. During sentenc-
ing, the court may consider not only the
recommendation in the sentencing guide-
lines and the evidence produced at trial,
but also relevant information that may be
provided by the pretrial services ofcer, the
U.S. attorney, and the defense attorney.
A sentence may include time in prison,
a ne to be paid to the government, and
restitution to be paid to crime victims. The
court’s probation ofcers assist the court in
enforcing any conditions that are imposed
as part of a criminal sentence. The supervi-
sion of offenders also may involve services
such as substance abuse testing and
treatment programs, job counseling, and
alternative detention options, such as home
connement or electronic monitoring.
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 15
Jury Service
One of the most important ways
individual citizens become involved with
the federal judicial process is by serving as
jurors. There are two types of juries serving
distinct functions in the federal trial courts:
trial juries (also known as petit juries), and
grand juries.
The functioning of a trial jury varies
slightly depending upon whether the trial
is for a civil or criminal case. A civil trial
jury typically consists of 6 to 12 persons,
while a criminal trial jury is made up of 12
jurors. In a civil case, the role of the jury
is to listen to the evidence presented, to
decide whether the defendant injured the
plaintiff or otherwise failed to fulll a legal
duty to the plaintiff, and to determine what
the remedy, compensation, or penalty
should be. Criminal juries decide whether
the defendant committed the crime as
charged, while a judge determines the
defendant’s sentence. Verdicts in both civil
and criminal cases must be unanimous,
unless the parties in a civil case agree to
a non-unanimous verdict. A jury’s delib-
erations are conducted in private, out of
sight and hearing of the judge, litigants,
witnesses, and others in the courtroom.
A grand jury, which consists of 16 to 23
members, has a specialized function to
perform before a felony criminal case is
led in the district court. The U.S. attorney,
the prosecutor in federal criminal cases,
presents evidence to the grand jury for
them to determine whether there is “proba-
ble cause” to believe that an individual has
committed a crime and should be put on
trial. If the grand jury decides there is enough
JUROR QUALIFICATIONS
AND EXEMPTIONS
Qualications to be a Juror
United States citizen
At least 18 years of age
Reside in the judicial district for one
year
Adequate prociency in English
No disqualifying mental or physical
condition
Not currently subject to felony charges
Never convicted of a felony
(unless civil rights have been legally
restored)
Exemptions from Service
Active duty members of the armed
forces
Members of police and re
departments
Certain public ofcials
Others based on individual court rules
(such as members of voluntary
emergency service organizations and
people who recently have served on a
jury)
Temporary Deferrals of Service
May be granted at the court’s
discretion on the grounds of “undue
hardship or extreme inconvenience.”
16 ....................................................................................................The Administrative Ofce of the U.S. Courts
evidence, it will issue an indictment against
the defendant. Grand jury proceedings are
not open for public observation.
Jury Selection Procedures
Potential jurors are selected from any
source that will yield a representative
sample of the judicial district’s population.
Most often, jurors are chosen from a pool
generated by a random selection of
citizens’ names from lists of registered
voters, or combined lists of voters and
people with a driver’s license. The potential
jurors complete questionnaires to help
determine whether they are qualied to
serve on a jury. After reviewing the
questionnaires, the court randomly selects
individuals to be summoned to appear for
jury duty. These selection methods help
ensure that jurors represent a cross section
of the community, without regard to race,
gender, national origin, age, or political
afliation. Jurors receive modest compen-
sation and expenses from the court for
their service.
Being summoned for jury service does
not guarantee that an individual actually
will serve on a jury. When a jury is needed
for a trial, the group of qualied jurors is
taken to the courtroom where the trial will
take place. The judge and the attorneys
then ask the potential jurors questions
to determine their suitability to serve on
the jury, a process called voir dire. The
purpose of voir dire is to exclude from
the jury people who may not be able to
decide the case fairly. Members of the
panel who know any person involved in
the case, who have information about the
TERMS OF JURY SERVICE
Length of Service
Trial jury service varies by court.
Some courts require service for one
day or for the duration of one trial;
others require service for a xed term
of up to one month (or more if a trial is
longer).
Grand jury service may last up
to 24 months.
Payment
$40 per day; in some instances jurors
may also receive meal and travel
allowances.
Employment Protections
By law, employers must allow
employees time off (paid or unpaid)
for jury service. The law also forbids
any employer from ring,
intimidating, or coercing any
permanent employee because of their
federal jury service.
case, or who may have strong prejudices
about the people or issues involved in the
case typically will be excused by the judge.
The attorneys also may exclude a limited
number of jurors without giving a reason.
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 17
Bankruptcy Cases
Federal courts have exclusive
jurisdiction over bankruptcy cases.
This means a bankruptcy case may
not be led in a state court.
The primary purposes of the
law of bankruptcy are:
❶ to give an honest debtor
a “fresh start” in life by re-
lieving the debtor of most
debts;
❷ to repay creditors in a fair
and orderly manner to the extent
that the debtor has property avail-
able for payment;
❸ to reorganize a failing business by
restructuring debt or the business
entity itself, or, alternatively, to pro-
vide a framework for the orderly
liquidation of the failed enterprise;
and
❹ to deter and remedy dishonest
actions by debtors or creditors that
would have the effect of undermin-
ing the purposes of bankruptcy law.
A bankruptcy case normally begins by
the debtor ling a petition with the
bankruptcy court. A petition may be led
by an individual, by a husband and wife
together, or by a corporation or other
entity. The debtor is also required to le
statements listing assets, income, liabilities,
and the names and addresses of all credi-
tors and how much they are owed. The
ling of the petition automatically prevents,
or “stays,” debt collection actions against
the debtor and the debtor’s property. As
long as the stay remains in effect, creditors
cannot bring or continue lawsuits, make
wage garnishments, or even make
telephone calls demanding payment.
Creditors receive notice from the clerk of
court that the debtor has led a bankruptcy
petition.
Some bankruptcy cases are led to
allow a debtor to reorganize and estab-
lish a plan to repay creditors, while other
cases involve liquidation of the debtor’s
property. In many bankruptcy cases involv-
ing liquidation of the property of individ-
ual consumers, there is little or no money
available from the debtor’s estate to pay
creditors. As a result, in these cases there
are few issues or disputes, and the debtor
is normally granted a “discharge” of most
debts without objection. This means that
the debtor will no longer be personally
liable for repaying the debts.
In other cases, however, disputes may
give rise to litigation in a bankruptcy case
over such matters as who owns certain
property, how it should be used, what
the property is worth, how much is owed
on a debt, whether the debtor should be
discharged from certain debts, or how
18 ....................................................................................................The Administrative Ofce of the U.S. Courts
CATEGORIES OF BANKRUPTCY CASES
Chapter 7 (Liquidation)
Chapter 7 is designed to repay debts owed to creditors by selling most of the debt-
or’s property. When a Chapter 7 case is led, a trustee is appointed to take over the
debtor’s property for the benet of the debtor’s creditors. The debtor, however, is
allowed to keep a limited amount of “exempt” property specied by law. The trust-
ee then sells all non-exempt property of the debtor and distributes the proceeds to
creditors in accordance with procedures set forth in the bankruptcy laws.
Chapter 13 (Debt Adjustment of an Individual)
In a Chapter 13 bankruptcy, the debtor may keep his or her property, but must repay
creditors in installments taken from the debtor’s future earnings. A debtor is required
to submit a plan for approval by the court specifying how and when the debts will be
repaid to creditors. A trustee is appointed in a Chapter 13 case, and a portion of the
debtor’s future income, in most cases, is paid to the trustee, who then pays creditors.
Chapter 11 (Reorganization)
Chapter 11 is designed mainly to give an ongoing business an opportunity to resolve
nancial problems through reorganization. A trustee is not normally appointed. The
debtor is allowed to continue to operate the business under court supervision.
Chapter 12 (Debt Adjustment of a Family Farmer)
Chapter 12 is similar in many respects to Chapter 13, except that it is available only to
family farmers.
Chapter 9 (Debt Adjustment of a Municipality)
Chapter 9 is available only to a political subdivision (i.e., a city, town, or county), public
agency, or other instrumentality of a state.
Chapter 15 (Cross-Border Insolvency)
Chapter 15 of the Bankruptcy Code authorizes the commencement of a U.S. bankruptcy
case related to a foreign case.
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 19
much money should be paid to lawyers,
accountants, auctioneers, or other profes-
sionals. Litigation in the bankruptcy court
is conducted in much the same way that
civil cases are handled in the district court.
There may be discovery, pretrial proceed-
ings, settlement efforts, and a trial.
The Appeals Process
The losing party in a decision by a
trial court in the federal system normally is
entitled to appeal the decision to a federal
court of appeals. Similarly, a litigant who
is not satised with a decision made by a
federal administrative agency usually may
le a petition for review of the agency
decision by a court of appeals. Judicial
review in cases involving certain federal
agencies or programs—for example,
disputes over Social Security benets—may
be obtained rst in a district court rather
than a court of appeals.
In a civil case, either side may appeal
the verdict. In a criminal case, the defen-
dant may appeal a guilty verdict, but the
government may not appeal if
a defendant is found not guilty.
Either side in a criminal case
may appeal with respect to the
sentence that is imposed after
a guilty verdict.
In most bankruptcy
courts, an appeal of a ruling
by a bankruptcy judge may
be taken to the district court.
Several courts of appeals,
however, have established
Bankruptcy Appellate Panels
consisting of three bankruptcy
judges to hear appeals directly from the
bankruptcy courts. In either situation, the
party that loses in the initial bankruptcy
appeal may then appeal to the court of
appeals. Under certain limited circum-
stances, an appeal may be taken from a
ruling by a bankruptcy judge directly to the
court of appeals.
A litigant who les an appeal, known
as an “appellant,” must show that the trial
In a criminal case the
defendant may appeal
a guilty verdict, but the
government may not
appeal if a defendant is
found not guilty.
20 ....................................................................................................The Administrative Ofce of the U.S. Courts
court or administrative agency made a
legal error that affected the decision in
the case. The court of appeals makes its
decision based on the record of the case
established by the trial court or agency;
it does not receive additional evidence or
hear witnesses. The court of appeals also
may review the factual ndings of the trial
court or agency, but typically may only
overturn a decision on factual grounds if
the ndings were “clearly erroneous.”
Appeals are decided by panels of three
judges working together. The appellant
presents legal arguments to the panel, in
writing, in a document called a “brief.” In
the brief the appellant tries to persuade
the judges that the trial court made an
error and that its decision should be
reversed. On the other hand, the party
defending against the appeal, known as
the “appellee,” tries in its brief to show why
the trial court decision was correct, or why
any error made by the trial court was not
signicant enough to affect the outcome
of the case.
Although some cases are decided on
the basis of written briefs alone, many
cases are selected for an “oral argument”
before the court. Oral argument in the
court of appeals is a structured discus-
sion between the appellate lawyers and
the panel of judges focusing on the legal
principles in dispute. Each side is given a
short time—usually about 15 minutes—to
present arguments to the court.
The court of appeals decision usually
will be the nal word in the case, unless
it sends the case back to the trial court
for additional proceedings, or the parties
ask the U.S. Supreme Court to review
the case. In some cases the decision may
be reviewed en banc, that is, by a larger
group of judges (usually all) of the court of
appeals.
A litigant who loses in a federal court of
appeals, or in the highest court of a state,
may le a petition for a “writ of certiorari,”
which is a document asking the Supreme
Court to review the case. The Supreme
Court, however, does not have to grant
review. The Court typically will agree to
hear a case only when it involves an unusu-
ally important legal principle, or when
two or more federal appellate courts have
interpreted a law differently. There are also
a small number of special circumstances
in which the Supreme Court is required by
law to hear an appeal. When the Supreme
Court hears a case, the parties are required
to le written briefs and the Court may
hear oral argument.
■
The court of appeals
decision usually will be the
nal word in the case, unless
it sends the case back to
the trial court for additional
proceedings, or the parties
ask the U.S. Supreme Court
to review the case.
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 21
Individual Courts
The day-to-day responsibility for judicial
administration rests with each individual
court. Each court is given responsibility
by statute and administrative practice to
appoint support staff, supervise spending,
and manage the court’s records.
The chief judge of each court plays
a key leadership role in overseeing and
coordinating the efcient operations of the
court. Although the chief judge is gener-
ally responsible for overseeing day-to-day
court administration, important policy
decisions are made by the judges of the
court working together.
The clerk of court is the executive hired
by the judges of the court to carry out the
court’s administrative functions. The clerk
manages the court’s non-judicial functions
in accordance with policies set by the court,
and reports directly to the court through
its chief judge. Among the clerk’s many
functions are:
● Maintaining the records and dockets of
the court
● Managing the court’s information
technology systems
● Paying all fees, nes, costs, and other
monies collected into the U.S. Treasury
● Administering the court’s jury system
● Providing interpreters and court
reporters
● Sending ofcial court notices and
summons
● Providing courtroom support services
The Circuit Judicial Councils
At the regional level, a “circuit judicial
council” in each geographic circuit oversees
the administration of the courts located
in that circuit. Each circuit judicial council
consists of the chief circuit judge, who
serves as the chair, and an equal number of
other circuit and district judges.
The judicial council oversees numer-
ous aspects of court of appeals and district
court operations. The council is given broad
authority with a statutory authorization to
issue orders to promote accountability and
the “effective and expeditious administra-
tion of justice within its circuit.” Aside from
its fundamental responsibility to ensure
that individual courts are operating effec-
tively, the judicial council is responsible for
reviewing local court rules for consistency
with national rules of procedure, approving
district court plans on topics such as equal
employment opportunity and jury selection,
and reviewing complaints of judicial miscon-
duct. Each judicial council appoints a “circuit
executive,” who works closely with the chief
circuit judge to coordinate a wide range of
administrative matters in the circuit.
■
Federal JudiciAL aDMINISTRATION
The judicial council
is authorized by statute
to issue orders to promote
accountability and the
“effective and expeditious
administration of justice
within its circuit.”
22 ....................................................................................................The Administrative Ofce of the U.S. Courts
Court Support Staff
In addition to their personal chambers staff of law clerks and
secretaries, judges rely on central court support staff to assist in the
work of the court. These staff include:
Clerk
The chief administrative ofcer of the court, who keeps court records, handles
court monies, and supervises court operations.
Circuit Executive
Performs a broad range of administrative tasks under the direction of the regional
circuit judicial council.
Court Reporters
Make a word-for-word record of court proceedings and prepares a transcript.
Court Librarian
Maintains court libraries and assists in meeting the information needs of the judges
and lawyers.
Staff Attorneys and Pro Se Law Clerks
Assist the court with research and drafting of opinions.
Pretrial Services Ofcers and Probation Ofcers
Interview defendants before trial, investigate their backgrounds, le reports to
assist judges in deciding on pretrial release or sentencing of convicted defendants,
and supervise released defendants.
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 23
The Judicial Conference of the
United States and National
aDMINISTRATION
Conference and its committees. The
numerous additional responsibilities of the
Administrative Ofce include collecting and
reporting judicial branch statistics, devel-
oping budgets, conducting studies and
assessments of judiciary operations and
programs, providing technical assistance to
the courts, developing training programs,
and fostering communications within
the judiciary and with other branches of
government and the public.
The Director of the Administrative
Ofce, who is appointed by the Chief
Justice in consultation with the Judicial
Conference, serves as the chief administra-
tive ofcer of the federal courts. Congress
vested many of the judiciary’s admin-
istrative responsibilities in the Director.
Recognizing, however, that the courts
can make better business decisions based
on local needs, the Director delegates
the responsibility for many administra-
tive matters to the individual courts. This
concept, known as “decentralization,” allows
each court to operate with considerable
autonomy in accordance with policies and
guidelines set at the regional and national
level.
The Federal Judicial Center (FJC)
The Federal Judicial
Center provides train-
ing and research for the
federal judiciary in a wide
range of areas including
court administration, case
management, budget and nance, human
resources, and court technology. The
FJC develops orientation and continuing
The Judicial Conference
of the United States
The Judicial Conference
of the United States is the
federal courts’ national
policy-making body. The Chief Justice of
the United States presides over the Judicial
Conference, which consists of 26 other
members including the chief judge of
each court of appeals, one district court
judge from each regional circuit, and the
chief judge of the Court of International
Trade. The Judicial Conference works
through committees established along
subject matter lines to recommend national
policies and legislation on all aspects of
federal judicial administration. Committees
include budget, rules of practice and
procedure, court administration and case
management, criminal law, bankruptcy,
judicial resources (judgeships and person-
nel matters), information technology, and
codes of conduct.
The Administrative
Ofce of the United
States Courts
The Administrative
Ofce, an agency within
the judicial branch, provides
a broad range of legislative, legal, nan-
cial, technology, management, admin-
istrative, and program support services
to the federal courts. The Administrative
Ofce is responsible for carrying out the
policies of the Judicial Conference of the
United States. A primary responsibility
of the Administrative Ofce is to provide
staff support and counsel to the Judicial
24 ....................................................................................................The Administrative Ofce of the U.S. Courts
education programs for judges and other
court personnel, including seminars; curric-
ulum materials for use by individual courts;
monographs and manuals; and audio,
video, and interactive media programs. The
FJC conducts studies of judiciary opera-
tions, and makes recommendations to the
Judicial Conference for improvement of
the administration and management of
the federal courts. The FJC’s operations are
overseen by a board of directors consist-
ing of the Chief Justice, the Director of the
Administrative Ofce, and seven judges
chosen by the Judicial Conference.
Judicial Panel for
Multidistrict Litigation
The Judicial Panel for
Multidistrict Litigation has
the authority to transfer
cases that are pending in
different districts but involve common
questions of fact (for example, mass tort
actions arising from airplane crashes, breast
implants, or asbestos) to a single district
for coordinated or consolidated pretrial
proceedings. The Panel consists of seven
court of appeals and district court judges
designated by the Chief Justice.
U
N
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T
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D
S
T
A
T
E
S
J
U
D
I
C
I
A
L
P
A
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I
D
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I
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N
United States Sentencing
Commission
The United States
Sentencing Commission
establishes sentencing guide-
lines for the federal criminal justice system.
The Commission also monitors the perfor-
mance of probation ofcers with regard
to sentencing recommendations, and
has established a research program that
includes a clearinghouse and information
center on federal sentencing practices.
The Sentencing Commission consists of a
chairman, three vice chairs, and three other
voting commissioners who are appointed
for six-year terms by the President.
■
“Decentralization”
allows each court to
operate with considerable
autonomy and sound
management principles in
accordance with policies
and guidelines set at the
regional and national
level.
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 25
In recognition of the
constitutional separation of
powers among the three
branches of the federal
government, Congress has
given the judiciary authority to
prepare and execute its own
budget. The Administrative
Ofce, in consultation with
the courts and with various
Judicial Conference commit-
tees, prepares a proposed
budget for the judiciary each
scal year. The proposal is
reviewed and approved by
the Judicial Conference with
an accompanying set of
detailed justications. By law, the President must include the judiciary’s proposed budget
as a part of the unied federal budget submitted to Congress each year. The President
may comment on the judiciary’s budget request, but the proposal must be transmitted to
Congress without change. The congressional appropriations committees conduct hearings
at which judges and the Director of the Administrative Ofce frequently present and justify
the judiciary’s projected expenditures.
After Congress enacts a budget for the judiciary, the Judicial Conference approves a
plan to spend the money and the Administrative Ofce distributes funds directly to each
court, operating unit, and program in the judiciary. Individual courts have considerable
authority and exibility to conduct their work, establish budget priorities, make sound
business decisions, hire staff, and make purchases, consistent with Judicial Conference
policies.
■
THE JudiciaRY’S BUDGET
26 ....................................................................................................The Administrative Ofce of the U.S. Courts
Commonly Asked Questions
About the Federal Judicial Process
How can I nd a lawyer?
Local bar associations usually offer
lawyer referral services, often without
charge. The clerk’s ofce in each district
court usually is able to help nd a referral
service. But personnel in the clerk’s ofce
and other federal court employees are
prohibited from providing legal advice to
individual litigants.
Defendants in criminal proceedings
have a right to a lawyer, and they are
entitled to have counsel appointed at
government expense if they are nancially
unable to obtain adequate represen-
tation by private counsel. The Criminal
Justice Act requires a court determina-
tion that a person is nancially eligible for
court-appointed counsel. Defendants may
be required to pay some of these costs.
Defendants also have the option of waiving
their right to counsel; however, this requires
consent of the presiding judge.
There is no general right to free legal
assistance in civil proceedings. Some
litigants obtain free or low-cost representa-
tion through local bar association referrals
or legal services organizations. Litigants in
civil cases may also proceed pro se; that is,
they may represent themselves without the
assistance of a lawyer.
How are judges assigned to
a particular court?
Each federal judge is commissioned to
a specic court. Judges have no authority
to hear cases in other courts unless they
are formally designated to do so. Because
of heavy caseloads in certain districts,
judges from other courts are often asked
to hear cases in these districts.
How do I le a civil case?
Is there a charge?
A civil action begins when some party
to a dispute les a complaint. The parties
beginning a civil action in a district court
are required to pay a ling fee that is set by
statute. A plaintiff who is unable to pay the
fee may le a request to proceed in forma
pauperis. If the request is granted, the fee
is waived.
How do I le a criminal case?
Individuals may not le criminal charges
in federal courts. A criminal proceeding
is initiated by the government, usually
through the U.S. attorney’s ofce in coordi-
nation with a law enforcement agency.
Allegations of criminal behavior should
be brought to the local police, the FBI,
or another appropriate law enforcement
agency.
How do I le for bankruptcy
protection? Is there a charge?
A bankruptcy case begins with the
ling of a petition. The required forms are
available from the bankruptcy court clerk’s
ofce, on the court’s website, or at many
stationery stores. There is a range of ling
fees for bankruptcy cases, depending on
the chapter of the bankruptcy code under
which the case is led. Chapter 7, the most
common type led by individuals, involves
an almost complete liquidation of the
assets of the debtor, as well as a discharge
of most debts.
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 27
How are judges assigned to
specic cases?
Judge assignment methods vary, but all
courts use some random case assignment
procedure and manage caseloads so that
each judge in a court receives roughly an
equal caseload.
What is a U.S. Magistrate Judge?
Magistrate judges are judicial ofcers
appointed by the district court to serve
for eight-year terms. Their duties fall into
four general categories: conducting most
initial proceedings in criminal cases (includ-
ing search and arrest warrants, detention
hearings, probable cause hearings, and
appointment of attorneys); conducting a
wide variety of other proceedings in civil
and criminal cases as referred to them by
district judges (including deciding motions,
reviewing petitions led by prisoners, and
conducting pretrial and settlement confer-
ences); trial of most criminal misdemeanor
cases; and trial of civil cases with the
consent of the parties.
How can I check on the status of a
case?
The clerk’s ofce responds without
charge to most inquiries on the status of
a case. There is a fee to conduct certain
searches and retrieve some information,
and to print court documents. Most federal
courts have automated systems that allow
28 ....................................................................................................The Administrative Ofce of the U.S. Courts
for the search and retrieval of case-related
information at the public counters in the
courthouse, and electronically from other
locations. In the Supreme Court and many
bankruptcy courts, telephone informa-
tion systems enable callers to obtain case
information by touch-tone phone. Court
dockets and opinions are also available
on the Internet. The judiciary’s Internet
homepage, www.uscourts.gov, includes
links to individual court websites, as well as
a directory of court electronic public access
services.
How quickly does a court reach a
decision in a particular case?
All cases are handled as expeditiously
as possible. The Speedy Trial Act of 1974
establishes special time requirements for
the prosecution and disposition of criminal
cases in district courts. As a result, courts
must give the scheduling of criminal cases
a higher priority than civil cases. The Act
normally allows only 70 days from a defen-
dant’s arrest to the beginning of the trial.
There is no similar law governing civil
trial scheduling, but the courts usually
are able to resolve civil cases in less than
a year. Depending on its complexity, a
particular case may require more or less
time to resolve. There are many reasons
why the progress of a particular case may
be delayed, many of which are outside
the court’s control. Cases may be delayed
because settlement negotiations are in
progress, or because the attorneys or
judge have scheduling conicts.
How is staff hired in the federal
courts?
The federal court system’s personnel
decisions are decentralized. This means
that each court conducts its own adver-
tising and hiring for job positions. Judges
select and hire their own chambers staff.
The clerk of court and certain other central
court staff are hired by the court as a
whole. Other court staff are hired by the
clerk of court, who acts under the super-
vision of the court. Some employment
opportunities are listed on the judiciary’s
Internet homepage, www.uscourts.gov, but
often the clerk’s ofce or the website of
a particular court is the best source for a
complete listing.
■
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 29
COMMON LEGAL TERMS
acquittal
Judgment that a criminal defendant has not been proven guilty beyond a reasonable doubt.
In other words, a verdict of “not guilty.” Under the Double Jeopardy clause of the Constitu-
tion, an acquitted defendant may never be tried again criminally for the same offense.
administrative law judge
An ofcer in a regulatory or social service agency, such as the Securities and Exchange
Commission or the Social Security Administration, who decides disputes under the law and
regulations administered by his agency, subject to appeals to the Article III courts.
afdavit
A written statement of facts conrmed by the oath of the party making it, before a notary
or ofcer having authority to administer oaths.
afrmed
In the practice of the court of appeals, it means that the court of appeals has concluded
that the lower court decision is correct and will stand as rendered by the lower court.
alternative dispute resolution (“ADR”)
Methods of resolving a legal dispute without conducting a trial, including mediation and
arbitration.
answer
The formal written statement by a defendant responding to a civil complaint and setting
forth the grounds for his or her defense.
appeal
A request challenging the decision of a trial court by a party that has lost on one or more
issues and seeks a higher court (appellate court) review of the decision to determine if it was
correct. To make such a request is “to appeal” or “to take an appeal.” One who appeals is
called the “appellant.” The other party is the “appellee.”
arbitration
A form of alternative dispute resolution in which an arbitrator (a neutral decision maker)
issues a judgment on the legal issues involved in a case after listening to presentations by
each party. Arbitration can be binding or nonbinding, depending on the agreement among
the parties before the proceeding.
a
30 ....................................................................................................The Administrative Ofce of the U.S. Courts
arraignment
A proceeding in which an individual who is accused of committing a crime is brought into
court, told of the charges, and asked to plead guilty, not guilty, or nolo contendere (no
contest).
Article III judge
A judge who exercises the judicial powers of the United States under the authority of Article
III of the U.S. Constitution. Article III judges are appointed by the President, with the ad-
vice and consent of the Senate. Article III of the Constitution protects the independence of
Article III judges by guaranteeing them a lifetime appointment and no reduction in pay. An
Article III judge can only be forcibly removed from ofce through the impeachment pro-
cess. Article III judges sit on the U.S. Court of International Trade, the federal district courts,
the appeals, and the U.S. Supreme Court.
bail
Security (usually in the form of money) given for the release of a criminal defendant or wit-
ness from legal custody to secure his appearance on the day and time set by the court.
bankruptcy
A legal process—over which the federal courts have exclusive jurisdiction—by which per-
sons or businesses unable to pay their debts can seek the assistance of the court in liqui-
dating and reorganizing their assets and liabilities. Under the protection of the bankruptcy
court, debtors may discharge their debts. Bankruptcy judges preside over these proceed-
ings.
bankruptcy judge
A federal judge, appointed by the court of appeals for a 14-year term, who has authority to
hear matters that arise under the Bankruptcy Code.
bench trial
Trial by a judge without a jury in which a judge decides which party prevails.
brief
A written statement submitted by a party in a case that asserts the legal and factual reasons
why the party believes the court should decide the case, or particular issues in the case, in
that party’s favor.
b
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 31
capital offense
A crime punishable by death.
case law
The law as reected in the written decisions of the courts.
case ancillary to a foreign proceeding
A case commenced under Chapter 15 of the Bankruptcy Code by the representative of a
foreign tribunal to protect the U.S. property of a debtor subject to an insolvency proceed-
ing in another country.
chambers
A judge’s ofce, typically including a conference room and work space for the judge’s law
clerks and secretary.
chief judge
The judge who has primary responsibility for the administration of a court. Chief judges are
selected from the judges of the court based on seniority.
circuit executive
A federal court employee appointed by a circuit judicial council to assist the chief judge of
the circuit and provide administrative support to the courts of the circuit.
clerk of court
An administrative ofcer appointed by the judges of the court to manage the ow of cases
through the court, maintain court records, handle nancial matters, and provide other ad-
ministrative support to the court.
common law
The legal system that originated in England and is in use in the U.S. today. Common law
relies on the articulation of legal principles in a historical succession of judicial decisions.
Common law principles can be changed by legislation, but legislation is subject to interpre-
tation by common law methodology. Many areas of the law, such as bankruptcy, are now
codied in detailed statutes, but these statutes are applied according to their interpretations
by successive precedents established by the courts.
complaint
A written statement led by a plaintiff initiating a civil case, stating the jurisdiction of the
court to resolve the legal dispute, the wrongs allegedly committed by the defendant, and
the requested relief.
c
32 ....................................................................................................The Administrative Ofce of the U.S. Courts
contract
An agreement between two or more persons that creates an obligation to do or not to do
a particular thing.
conviction
A judgment of guilt against a criminal defendant.
counsel
Legal advice; a term also used to refer to the lawyers in a case.
court
Government entity presided over by judges and authorized by statute to resolve legal
disputes. Judges sometimes use “court” to refer to themselves in the third person, as in “the
court has read the briefs.”
court reporter
A person who makes a word-for-word record of what is said in court, generally by using a
stenographic machine or audio recording, and then produces a transcript of the proceed-
ings upon request.
Court of International Trade
A court established by Congress under Article III of the Constitution to hear cases involving
U.S. international trade law, including questions concerning tariffs, dumping, countervailing
duties, and international property issues.
damages
Money paid by defendants to successful plaintiffs in civil cases to compensate the plaintiffs
for their injuries.
debtor
A person who is the subject of a bankruptcy case.
default judgment
A judgment rendered in favor of the plaintiff because of the defendant’s failure to answer or
appear to contest the plaintiff’s claim.
defendant
In a civil case, the person or organization against whom the plaintiff brings suit; in a criminal
case, the person accused of the crime.
d
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 33
deposition
An oral statement made before an ofcer authorized by law to administer oaths. Such
statements are often taken to examine potential witnesses, to obtain discovery, or to be
used later in trial.
discovery
The process by which lawyers learn about their opponent’s case in preparation for trial.
Typical tools of discovery include depositions, interrogatories, requests for admissions, and
requests for documents. All these devices help the lawyer learn the relevant facts and col-
lect and examine any relevant documents or other materials.
docket
A log containing the complete history of each case in the form of brief chronological entries
summarizing all court proceedings. All federal court dockets are maintained in electronic
form and are generally available to the public by computer.
en banc
“In the bench” or “as a full bench.” Refers to court sessions with the entire membership of a
court participating. U.S. circuit courts of appeals usually decide matters sitting in panels of
three judges, but all the judges in the court may decide certain matters together or review
panel decisions sitting “en banc” (occasionally spelled “in banc”). The largest courts of ap-
peals may split their full membership into two en banc panels.
equitable
Pertaining to civil suits in “equity” rather than in “law.” In English legal history, the courts of
“law” could order the payment of damages and could afford no other remedy. See “dam-
ages.” A separate court of “equity” could order someone to do something or to cease to do
something. See, e.g., “injunction.” In American jurisprudence, the federal courts have both
legal and equitable power, but the distinction is still an important one in certain respects.
For example, a trial by jury is normally available in cases at “law” but not in “equity.”
evidence
Physical material or information presented in testimony or in documents that is used to per-
suade the fact nder (judge or jury) to decide the case in favor of one side or the other. The
federal courts must follow the Federal Rules of Evidence.
e
34 ....................................................................................................The Administrative Ofce of the U.S. Courts
federal public defender
An attorney employed by the federal courts on a full-time basis to provide legal defense to
defendants who are unable to afford counsel. The judiciary administers the federal defender
program pursuant to the Criminal Justice Act.
federal question jurisdiction
Jurisdiction given to federal courts in cases involving the interpretation and application of
the U.S. Constitution, acts of Congress, and treaties.
felony
A serious crime carrying a penalty of more than one year in prison. Compare with “misde-
meanor.”
le
(1) The act of transmitting or placing a document in the ofcial custody of the clerk of court
and entering it into the le or record of a case; (2) the ofcial record of a case.
grand jury
A body of 16-23 citizens who listen to evidence of criminal allegations presented by the
prosecutors, and determine whether there is enough evidence to issue an indictment and
conduct a trial. See also “indictment” and “United States attorney.”
habeas corpus
A writ (court order) that is usually used to bring a prisoner before the court to determine
the legality of his or her imprisonment. Someone in state prison may le a petition in feder-
al court for a “writ of habeas corpus,” seeking to have the federal court review whether the
state violated his or her rights under the U.S. Constitution. Federal prisoners may le habeas
petitions as well. A writ of habeas corpus may also be used to bring a person in custody
before the court to give testimony or to be prosecuted.
hearsay
Statements by a witness who did not see or hear the incident in question but heard about
it second-hand from someone else. Hearsay is usually not admissible as direct evidence in
court because it does not allow a defendant to confront his or her accusers and is not as
reliable as rst-hand testimony, but there are many exceptions to the hearsay rule.
f
g
h
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 35
impeachment
(1) The process of calling a witness’s testimony into doubt. For example, if the attorney can
show that the witness may have fabricated portions of his testimony, the witness is said to
be “impeached.” (2) The constitutional process whereby the House of Representatives may
“impeach” (accuse of misconduct) high ofcers of the federal government, who are then
removed from ofce if found guilty in a trial before the Senate.
indictment
The formal charge issued by a grand jury stating that there is enough evidence that the
defendant committed a crime to justify having a trial; it is used primarily for felonies. See
also “information.”
in forma pauperis
“In the manner of a pauper.” The court may grant a litigant’s motion to proceed “in forma
pauperis” and allow him or her to le a case without payment of the required court fees if
the person does not have the nancial means to pay a fee.
information
A formal accusation by a government attorney that the defendant committed a misde-
meanor. An information may also be used in a felony case if the defendant formally waives
his or her right to a grand jury indictment. See also “indictment.”
injunction
A court order prohibiting a defendant from performing a specic act, or compelling a de-
fendant to perform a specic act.
interrogatories
Written questions sent by one party in a lawsuit to an opposing party as part of pretrial
discovery in civil cases. The party receiving the interrogatories is required to answer them in
writing under oath.
issue
(1) A disputed point between parties in a lawsuit. (2) To send out ofcially, as in a court
issuing an order.
judge
An ofcial with statutory authority to decide legal disputes according to the law. Used ge-
i
j
36 ....................................................................................................The Administrative Ofce of the U.S. Courts
nerically, the term “judge” may refer to all judicial ofcers, including Supreme Court justices,
state and federal judges, military judges, and executive branch appointees who preside over
tribunals and other bodies that decide legal disputes. See also “Article III judge,” “magistrate
judge,” and “bankruptcy judge.”
judgment
The ofcial decision of a court nally resolving a dispute between the parties to a lawsuit.
jurisdiction
(1) The legal authority or competence of a court to hear and decide a case. (2) The geo-
graphic area over which the court has authority to decide cases.
jurisprudence
The study of law and the structure of the legal system.
jury
The group of local citizens selected by the court to hear the evidence in a trial and render a
verdict on matters of fact. See also “grand jury.”
jury instructions
A judge’s directions to the jury before it begins deliberations regarding the factual questions
that it must answer and the legal rules that it must apply.
lawsuit
A legal action started by a plaintiff against a defendant based on a complaint that the de-
fendant failed to perform a legal duty which resulted in harm to the plaintiff.
litigation
A case, controversy, or lawsuit. Participants (plaintiffs and defendants) in lawsuits are called
litigants.
magistrate judge
A federal judge, appointed by a concurrence of a majority of the court’s district judges, who
conducts initial proceedings in criminal cases, decides criminal misdemeanor cases, con-
ducts many pretrial civil and criminal matters on behalf of district judges, and decides civil
cases with the consent of the parties.
l
m
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 37
mediation
The alternative dispute resolution (ADR) method most commonly used in the district courts.
Mediation is an informal process in which a mediator facilitates negotiations between the
parties to help them resolve their dispute.
misdemeanor
An offense punishable by one year of imprisonment or less. Compare with “felony.”
mistrial
An invalid trial, caused by fundamental error. When a mistrial is declared, the trial must start
again with the selection of a new jury.
motion
A request by a litigant to a judge for a decision on an issue relating to the case.
nolo contendere
No contest. A plea of nolo contendere has the same effect as a plea of guilty, as far as the
criminal sentence is concerned, but may not be considered as an admission of guilt for any
other purpose.
opinion
A judge’s written explanation of the decision of the court. Because a case may be heard by
three or more judges in the court of appeals, the opinion in appellate decisions can take
several forms. If all the judges completely agree on the result, one judge will write the opin-
ion for all. If all the judges do not agree, the formal decision will be based upon the view
of the majority, and one member of the majority will write the opinion. The judges who
did not agree with the majority may write separately in dissenting or concurring opinions
to present their views. A dissenting opinion disagrees with the majority opinion because of
the reasoning and/or the principles of law the majority used to decide the case. A concur-
ring opinion agrees with the decision of the majority opinion, but offers further comment
or clarication or even an entirely different reason for reaching the same result. Only the
majority opinion can serve as binding precedent in future cases. See also “precedent.”
oral argument
An opportunity for lawyers to verbally summarize their positions before the court and an-
swer the judges’ questions.
n
o
38 ....................................................................................................The Administrative Ofce of the U.S. Courts
panel
(1) In appellate cases, a group of judges (usually three) assigned to decide the case. (2) In
the jury selection process, the group of potential jurors. (3) The list of attorneys who are
both available and qualied to serve as court-appointed counsel for criminal defendants
who cannot afford their own counsel.
party
One of the litigants in a case. At the trial level, the parties are typically referred to as the
plaintiff and defendant. On appeal, they are known as the appellant and appellee, or, in
some cases involving administrative agencies, as the petitioner and respondent.
petit jury (or trial jury)
A group of citizens who hear the evidence presented by both sides at trial and determine
the facts in dispute. Federal criminal juries consist of 12 persons. Federal civil juries consist of
at least six persons. See also “jury” and “grand jury.”
petty offense
A federal misdemeanor punishable by six months or less in prison.
plaintiff
The person who initiates a civil lawsuit.
plea
In a criminal case, the defendant’s statement pleading “guilty,” “not guilty,” or “no contest” in
answer to the charges.
pleadings
Written statements led with the court that describe a party’s legal or factual assertions
about the case.
precedent
A court decision in an earlier case with facts and legal issues similar to a dispute currently
before a court. Judges—following the common-law tradition—will generally “follow prece-
dent.” They use the principles established in earlier cases to decide new cases that have sim-
ilar facts and raise similar legal issues. A judge will disregard precedent if a party can show
that the earlier case was wrongly decided, or that it differed in some signicant way from
the current case. Lower courts must follow precedents set by the decisions of higher courts.
p
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 39
presentence report
A report prepared by a court’s probation ofcer, after a person has been convicted of an
offense, summarizing for the court the background information needed to determine the
appropriate sentence.
pretrial conference
A meeting of the judge and lawyers to plan the trial, to discuss which matters should be
presented to the jury, to review proposed evidence and witnesses, and to set a trial sched-
ule. Typically, the judge and the parties also discuss the possibility of settling of the case.
pretrial services
A department of the district court that conducts an investigation of a criminal defendant’s
background in order to help a judge decide whether to release the defendant into the com-
munity before trial.
probation
(1) A sentencing alternative to imprisonment in which the court releases convicted defen-
dants under supervision of a probation ofcer, who makes certain that the defendant fol-
lows certain rules (e.g., gets a job, gets drug counseling, etc.) (2) A department of the court
that prepares a presentence report in a criminal case.
probation ofcer
Ofcers of a court who conduct presentence investigations, prepare presentence reports on
convicted defendants, and supervise released defendants.
pro bono publico (“pro bono”)
A Latin term meaning “for the good of the public.” Some lawyers take on certain kinds of
cases pro bono, without expectation of payment; these cases are called “pro bono cases.”
procedure
The rules for conducting a lawsuit. There are rules of civil, criminal, bankruptcy, and appel-
late procedure.
pro per
A slang expression sometimes used to refer to a pro se litigant. It is a corruption of the Latin
phrase “in propria persona.”
pro se
A Latin term meaning “on one’s own behalf.” In courts, it refers to persons who present their
own cases without lawyers.
40 ....................................................................................................The Administrative Ofce of the U.S. Courts
prosecute
To charge someone with a crime. A prosecutor tries a criminal case on behalf of the gov-
ernment.
recalled judge
A retired magistrate judge, bankruptcy judge, or judge of the Court of Federal Claims may
return to duty for a limited term as a “recalled” judge.
record
A written account of the proceedings in a case, including all pleadings, evidence, and exhib-
its submitted in the course of the case.
remand
The act of an appellate court sending a case to a lower court for further proceedings.
reverse
The act of an appellate court setting aside the decision of a trial court. A reversal is often
accompanied by a remand to the lower court for further proceedings.
senior judge
An Article III judge who has retired from active duty but continues to perform some judicial
duties, usually maintaining a reduced caseload. Commonly referred to as “senior status.” A
judge who has not taken senior status may be referred to as an “active judge,” although the
distinction may be misleading as many senior judges maintain full caseloads.
sentence
The punishment ordered by a court for a defendant convicted of a crime.
sentencing guidelines
A set of rules and principles established by the United States Sentencing Commission that
trial judges use as one factor to consider when they determine the sentence for a convicted
defendant.
sequester
To separate. Sometimes juries are sequestered or isolated from outside inuences during
their deliberations.
r
s
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 41
service of process
The delivery of writs or summonses to a party in a lawsuit or someone involved in the case.
settlement
Parties to a lawsuit resolve their dispute without having a trial. Settlements often involve the
payment of compensation by one party in at least partial satisfaction of the other party’s
claims, but usually do not include the admission of fault.
statute
A law passed by a legislature.
statute of limitations
A law that sets the deadline by which parties must le suit to enforce their rights. For
example, if a state has a ve-year statute of limitations for breaches of contract, and John
breached a contract with Susan on January 1, 2005, Susan must le her lawsuit by Janu-
ary 1, 2010. If the deadline passes, the “statute of limitations has run” and the party may
be prohibited from bringing a lawsuit; i.e., the claim is “time-barred.” Sometimes a party’s
attempt to assert his or her rights will “toll” the statute of limitations, giving the party addi-
tional time to le suit.
subpoena
A command, issued under authority of a court or other authorized government entity, to
compel an individual or organization to produce some kind of evidence, or require a wit-
ness to appear and give testimony.
subpoena duces tecum
A command to a witness to appear and produce documents.
summary judgment
A decision made on the basis of statements and evidence presented for the record without
a trial. It is used when it is not necessary to resolve any factual disputes in the case. Summa-
ry judgment is granted when—on the undisputed facts in the record—one party is entitled
to judgment as a matter of law.
temporary restraining order
Prohibits a person from taking an action that is likely to cause irreparable harm. This differs
from an injunction in that it may be granted immediately, without notice to the opposing
party, and without a hearing. It is intended to last only until a hearing can be held. Some-
times referred to as a “T.R.O.”
t
42 ....................................................................................................The Administrative Ofce of the U.S. Courts
testimony
Evidence presented orally by witnesses during trials or before grand juries.
toll
See “statute of limitations.” Certain actions will “toll” the statute of limitations, or extend the
time by which parties must le suit to enforce their rights.
tort
A civil wrong or breach of a duty to another person. The “victim” of a tort may be entitled
to sue for the harm suffered. Victims of crimes may also sue in tort for the wrongs done to
them. Most tort cases are handled in state court, except when the tort occurs on federal
property (e.g., a military base), when the government is the defendant, or when a dispute
between parties from different states falls under the federal court’s diversity jurisdiction.
transcript
A written, word-for-word record of what was said, either in a proceeding such as a trial, or
during some other formal conversation, such as a hearing or oral deposition.
trustee
In a bankruptcy case, a person appointed to represent the interests of the bankruptcy estate
and the unsecured creditors. The trustee’s responsibilities may include liquidating the prop-
erty of the estate, making distributions to creditors, and bringing actions against creditors or
the debtor to recover property of the bankruptcy estate.
uphold
The appellate court agrees with the lower court decision and allows it to stand. See “af-
rmed.”
U.S. attorney
A lawyer appointed by the President of the United States in each judicial district to prose-
cute and defend cases for the federal government. The U.S. attorney employs a staff of as-
sistant U.S. attorneys (AUSAs) who appear as the government’s attorneys in individual cases.
U.S. trustee
The United States Trustee Program is a component of the United States Department of Jus-
tice responsible for overseeing the administration of bankruptcy cases and private trustees.
United States Trustees are government employees appointed by the Attorney General of
the United States. United States Trustees appoint and supervise private trustees, take legal
u
UNDERSTANDING THE FEDERAL COURTS ........................................................................................................ 43
action to enforce the requirements of the United States Bankruptcy Code, refer matters for
investigation and criminal prosecution, and ensure that bankruptcy estates are administered
efciently and that professional fees are reasonable.
venue
The geographical location in which a case is tried.
verdict
The decision of a trial jury or a judge that determines the guilt or innocence of a criminal
defendant, or that determines the nal outcome of a civil case.
voir dire
The process by which judges and lawyers select a trial jury from among those eligible to
serve by questioning them to make certain that they would fairly decide the case. “Voir dire”
is a phrase meaning “to speak the truth.”
warrant
An arrest warrant is a written court order authorizing ofcial action by law enforcement of-
cials, usually directing them to arrest the individual named in the warrant. A search warrant
is a court order that permits a specic location be searched for items which, if found, can be
used in court as evidence.
witness
A person called upon by either side in a lawsuit to give testimony before the court or jury.
writ
A formal written command or order, issued by the court, requiring the performance of a
specic act.
writ of certiorari
An order issued by the U.S. Supreme Court directing the lower court to transmit records for
a case it will hear on appeal.
■
v
w
44 ....................................................................................................The Administrative Ofce of the U.S. Courts
About the Administrative Office
of the United States Courts
Created by an Act of Congress in
1939, the Administrative Ofce of the U.S.
Courts supports the work of the judicial
branch. Its Director, who serves as the
chief administrative ofcer for the federal
courts, is appointed by the Chief Justice of
the United States in consultation with the
Judicial Conference of the United States.
The Administrative Ofce provides
staff support and counsel to the judiciary’s
policymaking body, the Judicial Conference
of the United States, and its committees. It
monitors and assesses judiciary operations
and emerging issues, makes recommen-
dations for new policies and programs,
and implements and promotes the Judicial
Conference’s policies.
The Administrative Ofce develops
programs, systems, and methods to
support and improve judicial
administration. It provides a
broad array of administrative,
legal, technical, communica-
tions, and other services that
support the operation of the
federal appellate, district, and
bankruptcy courts, and the
defender services and probation
and pretrial services programs.
Among its many functions, the
Administrative Ofce develops
and administers the judiciary’s
budget; audits court nancial
records; manages the judiciary’s
payroll and human resources
programs; collects and analyzes
statistics to report on the business
of the courts; manages the
judiciary’s automation and infor-
mation technology programs;
conducts studies and reviews of programs
and operations; develops new business
methods for the courts; provides training
and technical assistance; issues manuals,
directives, rules, and other publications;
fosters and coordinates communications
with the legislative and executive branches;
and provides public information.
The Administrative Ofce’s Director has
delegated to the individual courts many of
his statutory administrative authorities. As
a result, each court can plan, organize, and
manage its business activities and expendi-
tures, consistent with policies and spending
limits, to meet its particular needs. This
decentralization of administrative authority
benets both the courts and the taxpay-
ers because it reduces bureaucracy and
encourages innovation and economy.
■
SOURCES OF ADDITIONAL INFORMATION
Publications
Federal Courts and What They Do
(Federal Judicial Center, 2006)
Strategic Plan for the Federal Judiciary
(Judicial Conference of the United States, 2010)
Judiciary Website Addresses
Administrative Ofce of the U.S. Courts
www.uscourts.gov
Federal Judicial Center
www.fjc.gov
Authorized Judgeships
For current information on authorized federal
judgeships visit the judges and judgeships section
of www.uscourts.gov
